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Wesley Pritchett Resigns from Wells Fargo Clearing Services

Wesley Pritchett (CRD #: 2351025), a broker registered with Janney Montgomery Scott, resigned from his previous firm, according to his BrokerCheck record, accessed on March 13, 2023. Keep reading to learn more about his alleged conduct as a broker.

Resignation from Wells Fargo Clearing Services

On January 17, 2023, Wesley Pritchett resigned from Wells Fargo Clearing Services following an allegation that he used his personal email address to send emails containing confidential client information, including account numbers and tax information.

He allegedly also sent emails to a personal email address that contained certain due diligence-related documents, including a business loan agreement and a financial statement displaying a business account number.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Wesley Pritchett has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • Series 99TO – Operations Professional Examination
  • SIE – Securities Industry Essentials Examination
  • Series 3 – National Commodity Futures Examination
  • Series 7 – General Securities Representative Examination
  • Series 9 – General Securities Sales Supervisor – Options Module Examination
  • Series 10 – General Securities Sales Supervisor – General Module Examination
  • Series 4 – Registered Options Principal Examination
  • Series 30 – NFA Branch Manager Examination
  • Series 8 – General Securities Sales Supervisor Examination (Options Module & General Module)

Wesley Pritchett is a registered broker in 16 states and a registered investment adviser in Georgia and Texas.

He has also worked for the following firms:

  • Wells Fargo Clearing Services (CRD#:19616)
  • J.P. Morgan Securities (CRD#:79)
  • Peraza Capital and Investment (CRD#:117851)
  • Incapital (CRD#:101420)
  • GFI Securities (CRD#:19982)
  • Midsouth Capital (CRD#:35039)
  • Countrywide Securities Corporation (CRD#:10598)
  • Bear, Stearns & Company (CRD#:79)
  • PaineWebber (CRD#:8174)
  • Kidder, Peabody & Company (CRD#:7613)

Kurta Law Can Help

If you worked with Wesley Pritchett and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.